Form 8.3 - NortonLifeLock Inc. - Amendment

LONDON--()-- 

FORM 8.3 - Amendment to Sales

PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY

A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE

Rule 8.3 of the Takeover Code (the “Code”)

1. KEY INFORMATION

(a) Full name of discloser: Barclays PLC.
 
(b) Owner or controller of interest and short
positions disclosed, if different from 1(a):
(c) Name of offeror/offeree in relation to whose NORTONLIFELOCK INC
relevant securities this form relates:
(d) If an exempt fund manager connected with an
offeror/offeree, state this and specify identity of
offeror/offeree:
(e) Date position held/dealing undertaken:

16 July 2021

(f) In addition to the company in 1(c) above, is the discloser making

YES:

disclosures in respect of any other party to the offer? AVAST PLC

2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE

If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.

(a) Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing (if any)

Class of relevant security:

USD 0.01 common

 

 

Interests

Short Positions

Number

(%)

Number

(%)

(1)

Relevant securities owned

 

 

 

 

and/or controlled:

1,964,336

0.34%

183,743

0.03%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

24,339

0.00%

1,279,498

0.22%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

500

0.00%

2,100

0.00%

 

 

 

 

 

 

 

 

TOTAL:

1,989,175

0.34%

1,465,341

0.25%

 

 

 

 

Class of relevant security:

Convertible Bond US668771AA66

 

 

Interests

Short Positions

Number

(%)

Number

(%)

(1)

Relevant securities owned

 

 

 

 

and/or controlled:

129,000

0.02%

0

0.00%

 

 

 

 

(2)

Cash-settled derivatives:

 

 

 

 

0

0.00%

0

0.00%

 

 

 

 

(3)

Stock-settled derivatives (including options)

 

 

 

 

and agreements to purchase/sell:

0

0.00%

0

0.00%

 

 

 

 

 

 

 

 

TOTAL:

129,000

0.02%

0

0.00%

 

 

 

 

All interests and all short positions should be disclosed.

Details of any open stock-settled derivative positions (including traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).

(b) Rights to subscribe for new securities (including directors’ and other employee options)

Class of relevant security in relation to which subscription right exists:

 

Details, including nature of the rights concerned and relevant percentages:

 

3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE

Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.

The currency of all prices and other monetary amounts should be stated.

(a) Purchases and sales

Class of relevant Purchase/sale

Number of

Price per unit
security

securities

USD 0.01 common Purchase

2

26.0050 USD
USD 0.01 common Purchase

4

26.1325 USD
USD 0.01 common Purchase

6

26.2300 USD
USD 0.01 common Purchase

10

26.1130 USD
USD 0.01 common Purchase

12

26.1916 USD
USD 0.01 common Purchase

16

26.1812 USD
USD 0.01 common Purchase

21

26.1557 USD
USD 0.01 common Purchase

23

26.2060 USD
USD 0.01 common Purchase

43

26.1930 USD
USD 0.01 common Purchase

55

26.1727 USD
USD 0.01 common Purchase

64

26.1808 USD
USD 0.01 common Purchase

100

26.3300 USD
USD 0.01 common Purchase

100

26.2950 USD
USD 0.01 common Purchase

116

26.1759 USD
USD 0.01 common Purchase

200

26.3250 USD
USD 0.01 common Purchase

212

26.3400 USD
USD 0.01 common Purchase

245

26.0987 USD
USD 0.01 common Purchase

310

26.2012 USD
USD 0.01 common Purchase

400

26.0800 USD
USD 0.01 common Purchase

400

26.2350 USD
USD 0.01 common Purchase

467

26.3200 USD
USD 0.01 common Purchase

700

26.3257 USD
USD 0.01 common Purchase

800

26.3112 USD
USD 0.01 common Purchase

800

26.1075 USD
USD 0.01 common Purchase

817

26.3287 USD
USD 0.01 common Purchase

1,100

26.3263 USD
USD 0.01 common Purchase

1,114

26.3255 USD
USD 0.01 common Purchase

1,234

26.1462 USD
USD 0.01 common Purchase

1,344

26.2527 USD
USD 0.01 common Purchase

1,469

26.0113 USD
USD 0.01 common Purchase

1,741

26.3188 USD
USD 0.01 common Purchase

1,828

26.0360 USD
USD 0.01 common Purchase

2,128

26.2423 USD
USD 0.01 common Purchase

2,566

26.1439 USD
USD 0.01 common Purchase

2,849

26.3262 USD
USD 0.01 common Purchase

3,646

26.1464 USD
USD 0.01 common Purchase

5,118

26.1797 USD
USD 0.01 common Purchase

5,213

26.2294 USD
USD 0.01 common Purchase

7,472

26.2103 USD
USD 0.01 common Purchase

9,560

26.0106 USD
USD 0.01 common Purchase

14,191

26.1335 USD
USD 0.01 common Purchase

14,303

26.2086 USD
USD 0.01 common Purchase

23,701

26.0033 USD
USD 0.01 common Purchase

26,494

26.0100 USD
USD 0.01 common Purchase

28,026

26.0053 USD
USD 0.01 common Purchase

29,310

26.0087 USD
USD 0.01 common Purchase

41,672

26.0779 USD
USD 0.01 common Purchase

96,583

26.1013 USD
USD 0.01 common Purchase

100,000

26.3001 USD
USD 0.01 common Purchase

104,687

26.1083 USD
USD 0.01 common Purchase

501,200

26.2819 USD
USD 0.01 common Purchase

908,112

26.2140 USD
USD 0.01 common Sale

2

26.0950 USD
USD 0.01 common Sale

4

26.0600 USD
USD 0.01 common Sale

100

26.3200 USD
USD 0.01 common Sale

120

26.2958 USD
USD 0.01 common Sale

199

26.2100 USD
USD 0.01 common Sale

200

26.1525 USD
USD 0.01 common Sale

300

26.0650 USD
USD 0.01 common Sale

300

26.1300 USD
USD 0.01 common Sale

360

26.1516 USD
USD 0.01 common Sale

400

26.2175 USD
USD 0.01 common Sale

400

26.1700 USD
USD 0.01 common Sale

557

26.2269 USD
USD 0.01 common Sale

577

26.2450 USD
USD 0.01 common Sale

600

26.0366 USD
USD 0.01 common Sale

617

26.1463 USD
USD 0.01 common Sale

672

26.1779 USD
USD 0.01 common Sale

700

26.3100 USD
USD 0.01 common Sale

700

26.2042 USD
USD 0.01 common Sale

797

26.2049 USD
USD 0.01 common Sale

828

26.2244 USD
USD 0.01 common Sale

900

26.2933 USD
USD 0.01 common Sale

975

26.2030 USD
USD 0.01 common Sale

1,000

26.1500 USD
USD 0.01 common Sale

1,027

26.1519 USD
USD 0.01 common Sale

1,101

26.2300 USD
USD 0.01 common Sale

1,234

26.1462 USD
USD 0.01 common Sale

1,300

26.2536 USD
USD 0.01 common Sale

1,400

26.0857 USD
USD 0.01 common Sale

1,500

26.2046 USD
USD 0.01 common Sale

1,700

26.2141 USD
USD 0.01 common Sale

1,800

26.1517 USD
USD 0.01 common Sale

1,867

26.2027 USD
USD 0.01 common Sale

1,882

26.1461 USD
USD 0.01 common Sale

2,102

26.2218 USD
USD 0.01 common Sale

2,382

26.1598 USD
USD 0.01 common Sale

2,602

26.0576 USD
USD 0.01 common Sale

2,707

26.2000 USD
USD 0.01 common Sale

2,783

26.2047 USD
USD 0.01 common Sale

3,200

26.0506 USD
USD 0.01 common Sale

4,440

26.0780 USD
USD 0.01 common Sale

4,521

26.0614 USD
USD 0.01 common Sale

5,051

26.0281 USD
USD 0.01 common Sale

5,173

26.1502 USD
USD 0.01 common Sale

5,602

25.9900 USD
USD 0.01 common Sale

5,955

26.0293 USD
USD 0.01 common Sale

6,135

26.0266 USD
USD 0.01 common Sale

6,476

26.1670 USD
USD 0.01 common Sale

7,344

26.2543 USD
USD 0.01 common Sale

7,700

26.0414 USD
USD 0.01 common Sale

9,560

26.0106 USD
USD 0.01 common Sale

10,100

26.1487 USD
USD 0.01 common Sale

11,256

26.0066 USD
USD 0.01 common Sale

11,301

26.1994 USD
USD 0.01 common Sale

14,817

26.2163 USD
USD 0.01 common Sale

18,234

26.0618 USD
USD 0.01 common Sale

20,244

26.1475 USD
USD 0.01 common Sale

21,634

26.0182 USD
USD 0.01 common Sale

23,381

26.0445 USD
USD 0.01 common Sale

23,857

26.0993 USD
USD 0.01 common Sale

24,234

26.0084 USD
USD 0.01 common Sale

25,170

26.0038 USD
USD 0.01 common Sale

35,075

26.1889 USD
USD 0.01 common Sale

37,893

26.2532 USD
USD 0.01 common Sale

39,362

26.1712 USD
USD 0.01 common Sale

39,623

26.0142 USD
USD 0.01 common Sale

42,646

26.0100 USD
USD 0.01 common Sale

61,204

26.0559 USD
USD 0.01 common Sale

100,000

26.3001 USD
USD 0.01 common Sale

102,600

26.3108 USD
USD 0.01 common Sale

149,142

26.0386 USD
USD 0.01 common Sale

178,506

26.2481 USD
USD 0.01 common Sale

341,262

26.2740 USD
USD 0.01 common Sale

501,200

26.2819 USD

(b) Cash-settled derivative transactions

Class of relevant security

Product description

e.g. CFD

Nature of dealing

e.g. opening/closing a long/short position, increasing/reducing a long/short position

Number of reference securities

Price per unit

 

 

 

 

 

 

(c) Stock-settled derivative transactions (including options)

(i) Writing, selling, purchasing or varying

Class of relevant security

Product description e.g. call option

Writing, purchasing, selling, varying etc.

Number of securities to which option relates

Exercise price per unit

Type

e.g. American, European etc.

Expiry date

Option money paid/ received per unit

 

 

 

 

 

 

 

 

(ii) Exercise

Class of relevant security

Product description

e.g. call option

Exercising/ exercised against

Number of securities

Exercise price per unit

 

 

 

 

 

 

(d) Other dealings (including subscribing for new securities)

Class of relevant security

Nature of dealing

e.g. subscription, conversion

Details

Price per unit (if applicable)

 

 

 

 

 

4. OTHER INFORMATION

(a) Indemnity and other dealing arrangements

Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the person making the disclosure and any party to the offer or any person acting in concert with a party to the offer:

Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state “none”

 

None

 

(b) Agreements, arrangements or understandings relating to options or derivatives

Details of any agreement, arrangement or understanding, formal or informal, between the person making the disclosure and any other person relating to:

(i) the voting rights of any relevant securities under any option; or

(ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced:

If there are no such agreements, arrangements or understandings, state “none”

 

None

 

(c) Attachments

Is a Supplemental Form 8 (Open Positions) attached? YES
Date of disclosure:

20 Jul 2021

Contact name:

Large Holdings Regulatory Operations

Telephone number:

020 3134 7213

Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.

*If the discloser is a natural person, a telephone number does not need to be included, provided contact information has been provided to the Panel’s Market Surveillance Unit.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk.

SUPPLEMENTAL FORM 8 (OPEN POSITIONS)

DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENTS TO PURCHASE OR SELL ETC.

Note 5(i) on Rule 8 of the Takeover Code (the “Code”)

1. KEY INFORMATION

Identity of the person whose positions/dealings Barclays PLC.
are being disclosed:
Name of offeror/offeree in relation to whose NORTONLIFELOCK INC
relevant securities this from relates:

2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)

Class

Product Writing,

Number

Exercise Type Expiry

of

description purchasing,

of

price date

relevant

selling,

securities

per unit

security

varying etc

to which

 

option

 

relates

USD 0.01 common

Call Options Purchased

500

27.0000

American 21 Jan 2022

USD 0.01 common

Put Options Purchased

-2,100

30.0000

American 21 Jan 2022

3. AGREEMENTS TO PURCHASE OR SELL ETC.

Full details should be given so that the nature of the interest or position can be fully understood:

 

 

 

 

 

It is not necessary to provide details on a Supplemental Form (Open Positions) with regard to cash-settled derivatives.

The currency of all prices and other monetary amounts should be stated.

The Panel’s Market Surveillance Unit is available for consultation in relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.

The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk

Category Code: RET
Sequence Number: 741789
Time of Receipt (offset from UTC): 20210720T131052+0100

Contacts

BARCLAYS PLC

Contacts

BARCLAYS PLC